-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WHAMlNjis6qs0ytf5Y6nWmx7n/K8GbkvsvhTF3FEGOwcnUmPo2RlPNS15OinlTKJ 2nmJyaeKxHPW12rsZKo4ig== 0001047469-98-001536.txt : 19980121 0001047469-98-001536.hdr.sgml : 19980121 ACCESSION NUMBER: 0001047469-98-001536 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980120 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STERLING SOFTWARE INC CENTRAL INDEX KEY: 0000716714 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 751873956 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 144 SEC ACT: SEC FILE NUMBER: 001-08465 FILM NUMBER: 98509503 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2149811000 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 COMPANY DATA: COMPANY CONFORMED NAME: WYLY GROUP CENTRAL INDEX KEY: 0000918613 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: STREET 1: 8080 N CENTRAL EXPRESSWAY STREET 2: LB 31 CITY: DALLAS STATE: TX ZIP: 75206 144 1 FORM 144 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 --------------- FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: TRANSMIT FOR FILING 3 COPIES OF THIS FORM CONCURRENTLY WITH EITHER PLACING AN ORDER WITH A BROKER TO EXECUTE SALE OR EXECUTING A SALE DIRECTLY WITH A MARKET MAKER. - ------------------------------------------------------------------------------------------------------------------------------------ 1(a) NAME OF ISSUER (PLEASE TYPE OR PRINT) (b) IRS IDENT. NO. (c) S.E.C. FILE NO. Sterling Software, Inc. 75-1873956 - ------------------------------------------------------------------------------------------------------------------------------------ 1(d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE (e) TELEPHONE NO. ------------------------ AREA CODE NUMBER 300 Crescent Court, #1200 Dallas Texas 75201 214 981-1000 - ------------------------------------------------------------------------------------------------------------------------------------ 2(a) NAME OF PERSON FOR WHOSE ACCOUNT THE (b) SOCIAL SECURITY NO. OR (c) RELATIONSHIP (d) ADDRESS CITY STATE ZIP CODE STREET SECURITIES ARE TO BE SOLD IRS IDENT. NO. TO ISSUER Maverick Entrepreneurs Fund, Ltd. 75-6465916 Officer and 300 Crescent Court, Suite 1000 Sam Wyly and Charles Wyly, General Partner Director Dallas, Texas 75201 - ------------------------------------------------------------------------------------------------------------------------------------ INSTRUCTION: THE PERSON FILING THIS NOTICE SHOULD CONTACT THE ISSUER TO OBTAIN THE I.R.S. IDENTIFICATION NUMBER AND THE S.E.C. FILE NUMBER. - ------------------------------------------------------------------------------------------------------------------------------------ 3(a) (b) SEC USE ONLY (c) (d) (e) (f) (g) TITLE OF NAME AND ADDRESS OF ------------ NUMBER OF AGGREGATE NUMBER OF APPROXIMATE NAME OF THE CLASS EACH BROKER THROUGH SHARES OR MARKET SHARES OR DATE OF SALE EACH OF SECURITIES WHOM THE SECURITIES BROKER-DEALER OTHER UNITS VALUE OTHER UNITS (SEE INSTR. SECURITIES TO BE SOLD ARE TO BE OFFERED OR FILE NUMBER TO BE SOLD (SEE INSTR. OUTSTANDING 3(f)) EXCHANGE EACH MARKET MAKER (SEE INSTR. 3(d)) (SEE INSTR. (MO. DAY. YR.) (SEE INSTR. WHO IS ACQUIRING THE 3(c)) 3(e)) 3(g)) SECURITIES - ------------------------------------------------------------------------------------------------------------------------------------ Common Lehman Brothers 300,000 $11,625,000 38,582,000 1/21/98- NYSE 2200 Ross Ave., #2500 1/27/98 Dallas, Texas 75201 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ INSTRUCTIONS: 1. (a) Name of issuer. 3. (a) Title of the class of securities to be sold. (b) Issuer's I.R.S. Identification Number. (b) Name and address of each broker through whom the securities (c) Issuer's S.E.C. file number, if any. are intended to be sold. (d) Issuer's address, including zip code. (c) Number of shares or other units to be sold (if debt securities, (e) Issuer's telephone number, including area code. give the aggregate face amount). (d) Aggregate market value of the securities to be sold as of a 2. (a) Name of person for whose account the securities specified date within 10 days prior to the filing of this notice. are to be sold. (e) Number of shares or other units of the class outstanding, or if (b) Such person's Social Security or I.R.S. debt securities the face amount thereof outstanding, as shown by identification number. the most recent report or statement published by the issuer. (c) Such person's relationship to the issuer, (f) Approximate date on which the securities are to be sold. (E.G., officer, director, 10 percent stockholder, (g) Name of each securities exchange, if any, on which the or member of immediate family of any of the securities are intended to be sold. foregoing). (d) Such person's address, including zip code. TABLE I -- SECURITIES TO BE SOLD FURNISH THE FOLLOWING INFORMATION WITH RESPECT TO THE ACQUISITION OF THE SECURITIES TO BE SOLD AND WITH RESPECT TO THE PAYMENT OF ALL OR ANY PART OF THE PURCHASE PRICE OR OTHER CONSIDERATION THEREFOR: - ------------------------------------------------------------------------------------------------------------------------------------ NAME OF PERSON FROM WHOM AMOUNT OF TITLE OF DATE YOU NATURE OF ACQUISITION ACQUIRED (IF GIFT, ALSO SECURITIES DATE OF NATURE OF THE CLASS ACQUIRED TRANSACTION GIVE DATE DONOR ACQUIRED) ACQUIRED PAYMENT PAYMENT - ------------------------------------------------------------------------------------------------------------------------------------ Common 1/93 and Open Market Purchase N/A 300,000 1/93 and Cash, Personal 4/93 4/93 Funds - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ INSTRUCTIONS: 1. If the securities were purchased and full 2. If within two years after the acquisition of the payment therefor was not made in cash at securities the person for whose account they are to be the time of purchase, explain in the table sold had any short positions, put or other option to or in a note thereto the nature of the dispose of securities referred to in paragraph (d)(3) consideration given. If the consideration of Rule 144, furnish full information with respect consisted of any note or other obligation, thereto. or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ TABLE II -- SECURITIES SOLD DURING THE PAST THREE MONTHS FURNISH THE FOLLOWING INFORMATION AS TO ALL SECURITIES OF THE ISSUER SOLD DURING THE PAST THREE MONTHS BY THE PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD. - ------------------------------------------------------------------------------------------------------------------------------------ AMOUNT OF NAME AND ADDRESS OF SELLER TITLE OF SECURITIES SOLD DATE OF SALE SECURITIES SOLD GROSS PROCEEDS - ------------------------------------------------------------------------------------------------------------------------------------ None - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ REMARKS: The proceeds of the securities being sold by the reporting person will be used to retire a loan to such person by Lehman Brothers Finance, S.A. ("LBF") entered into simultaneously with long put and short call transactions with LBF in 1995. The put and call transactions are also being terminated in connection with these sales. INSTRUCTIONS: ATTENTION: See the definition of "person" in paragraph (a) of Rule 144. THE PERSON FOR WHOSE ACCOUNT THE SECURITIES TO WHICH THIS NOTICE Information is to be given not only as to the person for whose RELATES ARE TO BE SOLD HEREBY REPRESENTS BY SIGNING THIS NOTICE account the securities are to be sold but also as to all other THAT HE DOES NOT KNOW ANY MATERIAL ADVERSE INFORMATION IN REGARD persons included in that definition. In addition, information TO THE CURRENT AND PROSPECTIVE OPERATIONS OF THE ISSUER OF THE shall be given as to sales by all persons whose sales are SECURITIES TO BE SOLD WHICH HAS NOT BEEN PUBLICLY DISCLOSED. required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. 1/20/98 /s/ Sam Wyly, General Partner -------------------------------------------------- ------------------------------------------------------- (DATE OF NOTICE) (SIGNATURE) THE NOTICE SHALL BE SIGNED BY THE PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD. AT LEAST ONE COPY OF THE NOTICE SHALL BE MANUALLY SIGNED. ANY COPIES NOT MANUALLY SIGNED SHALL BEAR TYPED OR PRINTED SIGNATURES. - ------------------------------------------------------------------------------------------------------------------------------------ ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSION OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. (SEE 18 U.S.C. 1001.) - ------------------------------------------------------------------------------------------------------------------------------------ SEC 1147 (7-97)
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